Senior Associate, Compliance Consulting

4 weeks ago

Central And Western District, Hong Kong SAR China Kroll Full time

Kroll’s Compliance Consulting practice assists clients in setting up firms, obtaining their initial authorization or registration, and providing them with ongoing compliance advice to navigate the rapidly changing regulatory landscape. As an Analyst you will embody drive, embrace change and take risks. You will be innovative and solve problems in our Compliance Consulting business.Day-to-day responsibilities:Provide day-to-day support in the development, implementation and maintenance of compliance programs for a portfolio of SFC, SEC registered investment advisers, including but not limited to:Development and implementation of compliance policies and procedures - ensure compliance policies and procedures are effectively communicated to client, in accordance with the Firm’s regulatory requirementsEstablishing and maintaining the compliance infrastructure for clientsUndertaking periodic compliance monitoring reviews at client premisesDrafting and/or reviewing regulatory reports and returnsWriting compliance monitoring reportsProviding ad hoc regulatory advice and creative solutionsUpdating clients on regulatory changeMinimum Qualifications:Minimum of 3+ years of experience with an exposure to compliance and alternative asset management industryDetailed understanding of SFC, SEC rules and regulationsSolution-driven and problem-solving attitudeLegal or audit background would be usefulUnderstanding of the financial services industry i.e. asset management and broking sectorsBroad understanding of the alternative asset management industryTime management and ability to work under pressureAbout KrollJoin the global leader in risk and financial advisory solutions—Kroll. With a nearly century-long legacy, we blend trusted expertise with cutting-edge technology to navigate and redefine industry complexities. As a part of One Team, One Kroll, you'll contribute to a collaborative and empowering environment, propelling your career to new heights. Ready to build, protect, restore and maximize our clients’ value? Your journey begins with Kroll.Kroll is committed to equal opportunity and diversity, and recruits people based on merit.In order to be considered for a position, you must formally apply via careers.kroll.com.Kroll is headquartered in New York with offices around the world.#J-18808-Ljbffr

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